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Compliance Adviser


£45000.00 - £55000.00 per annum

Compliance Adviser


An exciting opportunity has arisen for a Compliance Adviser to join an award winning independent investment wrap platform based in the city.


* Provide advice to the business on operational, financial crime and conduct risk matters.
* Manage various compliance processes including the financial promotions approvals process design and develop clear and engaging reports and dashboards for forums, committees and boards to ensure consistent high quality internal reporting and MI
* Work with the wider Compliance team on Compliance projects, business initiatives and general business as usual tasks providing advice as needed to support these efforts.

Experience/Knowledge Required:

* Experience of providing advice on the FCA Conduct of Business Rules/Conduct Risk
* Experience working with retail investment products such as savings and pensions

My client offer a 20% discretionary bonus and a 9% non contributory pension among many other great benefits.

Please quote (44428) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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